John Fricke has been an investment adviser representative at Northeast Planning Associates since November 2004, and is not listed among the firm’s executive officers or direct owners.
Northeast Planning Associates, Inc. is a Bedford, NH firm with $414M under management, 959 clients and 69 advisers across 36 offices, as of its May 2026 filing.
John Fricke’s longest registration is the current one, 21 years at Northeast Planning Associates since 2004. Before joining Northeast Planning Associates in 2004, John Fricke was registered through Mutual Service Corporation and Veravest Investment Advisors, Inc.
- LPL Financial LLCAlso current– present · 19 yearsAdviser representative · Firm CRD 6413
- – present · 21 yearsAdviser representative · Firm CRD 131406
- Mutual Service Corporation– · under a yearNorthfield, VT · Adviser representative · Firm CRD 4806
- Veravest Investment Advisors, Inc.– · 9 yearsNorthfield, VT · Adviser representative · Firm CRD 105796
Investment adviser representative registrations
John Fricke is registered as an investment adviser representative in 3 states, as a resident of Texas. The first approvals date from November 2004; the most recent is Florida, in January 2019.
- FloridaSince 3 January 2019
- TexasResidentSince 19 February 2013
- VermontSince 24 November 2004
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 17 May 2004 |
| Series 63 | Uniform Securities Agent State Law Examination | 5 January 1990 |
| Series 7 | General Securities Representative Examination | 21 October 1989 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- John Francis Fricke
- CRD
- 1975383
- Firm
- Northeast Planning Associates · CRD 131406
- Registration
- Investment adviser and broker registrations
- In the industry since
- October 1989
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does John Fricke work?
John Fricke is an investment adviser representative registered through Northeast Planning Associates, Inc. since November 2004, and is not listed among the firm’s executive officers or direct owners.
Is John Fricke a financial advisor?
Yes. John Fricke has a current investment-adviser registration in Florida, Texas and Vermont, through Northeast Planning Associates since November 2004.
How many years of experience does John Fricke have?
John Fricke has 36 years in the financial industry, since October 1989, across 4 adviser firms.
What exams has John Fricke passed?
John Fricke has passed 3 licensing exams: the Series 7, Series 63 and Series 24. The earliest, the Series 7, was passed in October 1989. FINRA credited John Fricke with the SIE, which began in October 2018.
Where did John Fricke work before Northeast Planning Associates?
Before Northeast Planning Associates, John Fricke was registered through Mutual Service Corporation, February 2004 to November 2004; Veravest Investment Advisors, Inc., November 1994 to November 2003.
Is John Fricke registered with FINRA?
Yes. John Fricke has a current broker registration, under CRD 1975383.
Source: FINRA BrokerCheck
How can I verify John Fricke’s record?
Search CRD 1975383 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish John Fricke’s full registration record.
